客户贸易合规承诺 CUSTOMER TRADE COMPLIANCE COMMITMENTS

CUSTOMER TRADE COMPLIANCE COMMITMENTS
客户贸易合规承诺

It is the policy of N.F. Smith & Associates, L.P., Smith & Associates Far East Ltd., Smith & Associates Europe BV, Smith Global Services Pte Ltd, its subsidiaries and affiliated companies (collectively, “Smith”) to ensure compliance with applicable export/import control laws and regulations of the U.S., the EU, Hong Kong, and the country in which Smith is located. Because the products (the “Products”) you are purchasing (or may purchase in the future) from Smith may be exported from or transferred in country in the United States, Hong Kong, Singapore and/or the EU, you confirm and agree to the following on behalf of your company, its subsidiaries and affiliated companies:

N.F. Smith & Associates, L.P.、Smith & Associates Far East Ltd.、Smith & Associates Europe BV、Smith Global Services Pte Ltd 及其子公司和关联公司（统称为“Smith”）的政策，是确保遵守美国、欧盟、香港以及Smith所在国家/地区适用的进出口管制法律法规。鉴于贵司从 Smith 购买（或未来可能购买）的产品（以下简称“产品”）可能从美国、香港、新加坡和/或欧盟出口或转移，请代表贵司及其子公司和关联公司确认并同意以下内容：

END USE CERTIFICATIONS AND ASSURANCES
最终用途声明与保证

1. You will not sell, export, re-export, divert or otherwise transfer any Product or the components thereof (collectively, “Parts”) to any entity or country, including but not limited to Iran, North Korea, Syria, the Russian Federation (“Russia”), Belarus, the Crimea, Donetsk and Luhansk regions, and Cuba unless authorized by the U.S. Government. If not shipping from the US, this also applies to the applicable selling country’s respective debarred lists.

贵司不得向任何实体或国家（包括但不限于伊朗、朝鲜、叙利亚、俄罗斯联邦（“俄罗斯”）、白俄罗斯、克里米亚、顿涅茨克和卢甘斯克地区及古巴）销售、出口、再出口、转移或以其他方式转让任何产品或其部件（统称为”部件”），除非获得美国政府授权。若货物非从美国出口，此规定则同样适用于销售国相关被禁实体清单的限制。

2. You will not directly or indirectly sell, transfer, export, or re-export, transmit or participate in any export transaction involving Parts with individuals or companies listed on the U.S. Treasury Department’s, Office of Foreign Assets Control, Specially Designated Nationals (SDN) list (or companies owned 50% or more by one or more SDNs), the U.S. Commerce Department’s Table of Denial Orders, the U.S. Department of State’s list of individuals debarred from receiving Munitions List items, and any other lists administered by the Department of State, Treasury or Commerce, the European Union, Hong Kong or other applicable lists, i.e., Entity Lists as well as Denied Person/Company list of the selling country. You certify that you are not an embassy, agency, or a subdivision of a non-U.S. government. Ownerships interests in your company are not held by a person(s) listed on the Office of Foreign Asset Controls Specially Designated Nationals List or by Executive Order. Any subsequent designation of owners or employees will be reported to Smith.

贵司不得直接或间接向以下个人或实体销售、转让、出口、再出口、运输或参与涉及“部件”的出口交易：美国财政部外国资产控制办公室（OFAC）特别指定国民清单（SDN清单）所列实体（或由一个或多个SDN实体持股50%及以上的公司）、美国商务部拒绝令名单（Table of Denial Orders）所列实体、
美国国务院被禁止接收《军品清单》物品的个人名单、美国国务院、财政部或商务部管理的其他清单、
欧盟、香港或其他适用清单（包括实体清单及销售国被禁个人/公司清单）。贵司声明，贵司非美国政府的使领馆、机构或非美国政府的分支机构，且贵司的所有权权益不由外国资产控制办公室特别指定国民清单所列个人或根据行政命令指定的个人持有。若后续出现所有者或员工被列入上述清单的情况，将立即向Smith报告。

3. You acknowledge and agree that Huawei, Sugon, Hikvision and the Inspur Group, among others, are currently on the U.S. Department of Commerce, Bureau of Industry and Security’s (“BIS”) Entity List and/or identified as a Communist Chinese Military Company on the NDAA. As such, you will not export, re-export or transfer Parts to these companies without the applicable license from BIS.
贵司确认并同意：华为、中科曙光、海康威视及浪潮集团等企业目前被列入美国商务部工业与安全局（”BIS”）的实体清单，和/或被认定为《国防授权法案》（NDAA）下的”中国共产党军工企业”。因此，未经BIS颁发相应许可，贵司不得向上述企业出口、再出口或转让“部件”。

4. Nonproliferation: You will not sell, export, re-export, or otherwise dispose of any Parts for:

防扩散条款：贵司不得销售、出口、再出口或以其他方式处置任何“部件”用于以下用途：
(i) use in activities which involve the development, production, use or stockpiling of chemical, biological, nuclear weapons, rocket systems (including ballistic missile systems, space launch vehicles, and sounding rockets) or unmanned air vehicles capable of delivering the same, or in development, production, use or stockpiling of weapons of mass destruction; or
涉及化学武器、生物武器、核武器、火箭系统（包括弹道导弹系统、运载火箭和探空火箭）或能够投送上述武器的无人航空器的开发、生产、使用或储存活动；或涉及大规模杀伤性武器的开发、生产、使用或储存活动；

(ii) use in any facilities which are engaged in activities relating to such weapons or applications, without authorization from the U.S. Government if required by applicable law.
用于从事与上述武器或应用相关活动的任何设施，且根据适用法律要求时未经美国政府授权。

5. Military / Military Intelligence End Use: You will not sell, export, re-export, or otherwise dispose of any Parts to China, Hong Kong, Russia, Belarus, Venezuela, Burma/Myanmar or Cambodia, or Nicaragua: (i) for incorporation into a military item or for use that supports or contributes to the operation, installation, maintenance, repair, overhaul, refurbishing, “development,” or “production,” of military items and/or to the national armed services (army, navy, marine, air force, or coast guard), as well as the national guard and national police, government intelligence or reconnaissance organizations, or any person or entity whose actions or functions are intended to support “military end uses” as set forth in (i) in those countries, or (ii) to any “military intelligence end user” or for any “military intelligence end use” as such terms are defined in the EAR.

军事/军事情报最终用途：贵司不得向中国大陆、中国香港、俄罗斯、白俄罗斯、委内瑞拉、缅甸、柬埔寨或尼加拉瓜销售、出口、再出口或以其他方式处置任何“部件”，具体包括以下情形：(i) 用于整合至军事物品，或用于支持、促进以下活动：军事物品的运作、安装、维护、维修、大修、翻新、“开发”或“生产”；
国家武装力量（陆军、海军、海军陆战队、空军或海岸警卫队）、国民警卫队、国家警察、政府情报或侦察组织的活动；任何个人或实体的行为或功能旨在支持上述国家中“军事最终用途”（如(i)所述）；
(ii) 向任何“军事情报最终用户”或为任何“军事情报最终用途”（如《出口管理条例》(EAR)所定义）。

6. Supercomputers: You have reviewed the definition of “supercomputer” under 15 CFR §772.1 which sets forth the following:
A computing “system” having a collective maximum theoretical compute capacity of 100 or more double-precision (64-bit) petaflops or 200 or more single-precision (32-bit) petaflops within a 41,600 ft3 or smaller envelope.

超级计算机：贵司已根据《美国联邦法规》第15编第772.1节审阅了“超级计算机”的定义，具体如下：
一个计算“系统”，其集体最大理论计算能力在41,600立方英尺（约1,178立方米）或更小的空间内达到100或更多双精度（64位）千万亿次浮点运算（petaflops）；或200或更多单精度（32位）千万亿次浮点运算（petaflops）。

Note 1 to “Supercomputer”: The 41,600 ft3 envelope corresponds, for example, to a 4x4x6.5 ft rack size and therefore 6,400 ft2 of floor space. The envelope may include empty floor space between racks as well as adjacent floors for multi-floor systems.
“超级计算机”注释1：41,600立方英尺的空间对应例如一个4×4×6.5英尺的机架尺寸，因此占地6,400平方英尺（约594平方米）。该空间可包括机架之间的空置区域以及多层系统的相邻楼层。

Note 2 to “Supercomputer”: Typically, a ‘supercomputer’ is a high-performance multi-rack system having thousands of closely coupled compute cores connected in parallel with networking technology and having a high peak power capacity requiring cooling elements. They are used for computationally intensive tasks including scientific and engineering work. Supercomputers may include shared memory, distributed memory, or a combination of both.
“超级计算机”注释2：通常，”超级计算机”是一个高性能多机架系统，具有数千个紧密耦合的计算核心，通过网络技术并行连接，并具有需要冷却元件的高峰值功率容量。它们用于计算密集型任务，包括科学和工程工作。超级计算机可能包含共享内存、分布式内存或两者的组合。

You confirm that you will not use the Parts in the development, production, operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of a supercomputer located in or destined to Country Group D:5 or Macau, or incorporate the Parts into or use the Parts in the development or production of any component or equipment that will be used in a supercomputer located in or destined to Country Group D:5 or Macau.

贵司确认不会将“部件”用于以下用途：位于或运往D:5国家组（尾注i）或中国澳门的超级计算机的开发、生产、运行、安装（包括现场安装）、维护（检查）、维修、大修或翻新；或将“部件”整合入或用于开发或生产任何将用于位于或运往D:5国家组或中国澳门的超级计算机的组件或设备。

7. Advanced Node ICs: Except as otherwise permitted under the EAR and the applicable law, you will not export, re-export or transfer (in country) the Parts to a “facility” in Country Group D:5 or Macau if:
先进节点IC：除根据《出口管理条例》(EAR)及适用法律另有许可外，贵司不得向D:5国家组或中国澳门的“设施”出口、再出口或（境内）转移“部件”，若符合以下任一条件：

(A) the facility is a production facility of advanced-node integrated circuits (“Advanced Node ICs”) if you know that the facility produces Advanced Node ICs; or
该设施是先进节点集成电路（“先进节点IC”）（尾注ii）的生产设施，且贵司知晓该设施生产先进节点IC；或

(B) for Parts classified in product groups B, C, D, or E in Category 3 of the CCL, Parts will be used in the development or production of integrated circuits if you know that the facility produces or develops integrated circuits.
对于《商业管制清单》(CCL) 第3类中产品组B、C、D或E分类的“部件”，且贵司知晓该设施生产或开发集成电路，则这些“部件”将用于集成电路的开发或生产。

8. Semiconductor Manufacturing Equipment: You will not use the Parts to develop or produce integrated circuits production equipment, components, assemblies or accessories therefor, for a destination in Country Group D:5 or Macau, or for an entity headquartered in, or with an ultimate parent headquartered in, Macau or a destination specified in Country Group D:5.

半导体制造设备：贵司不得将“部件”用于开发或生产集成电路生产设备、组件、配件或其他配件，且目的地为D:5国家组或中国澳门，或实体总部位于中国澳门，或其最终母公司总部位于中国澳门或D:5国家组规定的目的地。

9. Advanced Computing: You will not directly or indirectly, sell, transfer (in country), export or re-export any Parts classified as advanced computing items, i.e., classified under ECCN 3A090.a, 3A090.c, 4A090.a, and corresponding .z controls, as amended except as expressly authorized under the EAR and the applicable local law. Such restrictions include, but are not limited to the transfer (in country), export or re-export such Parts, to or for:

先进计算：贵司不得直接或间接销售、（境内）转移、出口或再出口任何被归类为先进计算项目的“部件”，即根据《出口管制分类编号》(ECCN) 3A090.a、3A090.c、4A090.a及相应.z管控条款（经修订）分类的物项，除非根据《出口管理条例》(EAR)及适用当地法律明确授权。此类限制包括但不限于以下情形：

(i) any entity located in China, Macau, or any other country located in Country Groups D:1, D:4, or D:5; or
向位于中国大陆、中国澳门或D:1、D:4（尾注iii）、D:5国家组中任何其他国家的实体进行（境内）转移、出口或再出口；或
(ii) any entity, regardless of where it is located, if the entity is headquartered in, or its ultimate parent company is headquartered in a D:5 Country (e.g., a China headquartered cloud or data server provider located in Malaysia).
向任何实体（无论其位于何处）进行（境内）转移、出口或再出口，若该实体总部位于D:5国家，或其最终母公司总部位于D:5国家（例如：一家总部位于中国但位于马来西亚的云端或数据服务器提供商）。

10. Russia / Belarus: You will comply with applicable US and EU trade restrictions, especially the restrictions targeting Russia, Belarus, the Crimea, Donetsk and Luhansk regions. Further:

俄罗斯 /白俄罗斯：贵司将遵守适用的美国和欧盟贸易限制，特别是针对俄罗斯、白俄罗斯、克里米亚、顿涅茨克和卢甘斯克地区的限制。此外：
(i) You shall not sell, export or re-export, directly or indirectly:
贵司不得直接或间接销售、出口或再出口：
(a) to Russia or for use in Russia any Parts supplied by Smith or under your agreement with Smith that fall under the scope of Article 12g of Council Regulation (EU) No 833/2014, any other provision of the Council Regulation (EU) No 833/2014, or Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast), or in the Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment.
向俄罗斯或供俄罗斯使用的“部件”（由Smith供应或根据贵司与Smith的协议提供的“部件”），且该等“部件”属于欧盟委员会第833/2014号条例第12g条、该条例其他条款，或2021年5月20日欧洲议会和理事会第2021/821号条例（关于建立联盟出口管制制度，涉及两用物品的出口、经纪、技术援助、过境和转让（重铸）），或2008年12月8日欧盟理事会共同立场2008/944/CFSP（关于控制军事技术和设备出口的共同规则）的管辖范围；

(b) to Belarus or for use in Belarus any Parts supplied by Smith that fall under the scope of Article 8g of Council Regulation (EU) No 765/2006 or any other provision of the Council Regulation (EU) No 765/2006, or Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast), or in the Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment.
向白俄罗斯或供白俄罗斯使用的“部件”（由Smith供应的“部件”），且此等“部件”属于欧盟委员会第765/2006号条例第8g条、该条例其他条款，或2021年5月20日欧洲议会和理事会第2021/821号条例（关于建立联盟出口管制制度，涉及两用物品的出口、经纪、技术援助、过境和转让（重铸）），或2008年12月8日欧盟理事会共同立场2008/944/CFSP（关于控制军事技术和设备出口的共同规则）的管辖范围。

(ii) You shall undertake best efforts to ensure that the purpose of 10 (i) above not be frustrated by any third parties further down the commercial chain, including by possible resellers.
贵司应尽最大努力确保第10(i)条的目的不会被商业链中的任何第三方（包括可能的转售商）破坏。
(iii) You shall set up and maintain an adequate monitoring mechanism to detect conduct by any third parties further down the commercial chain, including by possible resellers, that would frustrate the purpose of 10 (i) above. You will notify Smith of any problems in applying 10 (i) and (ii) above.
贵司应建立并维持适当的监控机制，以检测商业链中的任何第三方（包括可能的转售商）可能破坏第10(i)条目的行为。贵司将向Smith报告在适用第10(i)和(ii)条时出现的任何问题。
(iv) You will monitor third parties further down the commercial chain, including possible resellers, with certain tools to detect compliance with all subject regulations, including local laws. You will notify Smith of any known compliance concerns in relation to this section 10.
贵司将使用特定工具监控商业链中的第三方（包括可能的转售商），以检测其是否符合所有相关法规（包括当地法律）。贵司将向Smith报告与本节10相关的任何已知合规问题。
(v) Any violation of this section 10 shall constitute a material breach of your agreement with Smith, and Smith shall be entitled to seek appropriate remedies, including the termination of Smith’s agreement with you.
违反本节10条将构成贵司与Smith协议的重大违约，Smith有权寻求适当的补救措施，包括终止与贵司的协议。

11. Parts may be subject to the EAR, as amended. As such, you will abide by all applicable US and/or the applicable selling country export control laws and regulations for any Parts purchased from Smith. You will not export, re-export, import to any other country or transmit any Parts except in accordance with all applicable laws, regulations, and, if applicable, the terms of any license or licenses issued by any applicable government authority. You understand that Smith is a U.S. person and agree not to cause Smith to facilitate the shipment, transmittal, transfer or servicing of items for prohibited end-uses under the EAR, including but not limited to §734.9, §742.6, §744.23 and §744.6 of the EAR, as may be amended from time to time. You will also comply with the International Labor Organization’s conventions on forced labor.

“部件”可能受《出口管理条例》(EAR)（经修订）的管辖。因此，贵司将遵守所有适用的美国及/或销售国出口管制法律法规（针对从Smith购买的“部件”）。除非根据所有适用法律、法规（如适用，包括相关政府机构颁发的任何许可证或执照条款），否则贵司不得将“部件”出口、再出口、进口至其他国家或传输“部件”。贵司知悉Smith是美国实体，并同意不会促使Smith协助根据EAR（包括但不限于§734.9、§742.6、§744.23和§744.6条款，可能不时修订）规定的禁止最终用途的物品运输、传输、转移或服务。贵司还将遵守国际劳工组织关于强迫劳动的公约。

12. If you are unable to fulfill the above export control requirements, you will advise Smith of the change in writing to [email protected] before placing orders with Smith. You agree that this certification shall pertain to all orders and shall survive the term and termination of the relationship between you and Smith.
若贵司无法履行上述出口控制要求，贵司须在向Smith下订单前，以书面形式将变更情况通知至[email protected]。贵司同意此声明适用于所有订单，且该效力将持续适用于贵司与Smith关系的存续期及终止后。

Currently under Supplement No. 1 to Part 740, Title 15 (Country Groups) the D:5 Countries are: • China (including Hong Kong)• Afghanistan • Belarus • Burma • Cambodia • Central African Republic • Congo (Democratic Republic of) • Cuba • Eritrea • Haiti • Iran • Iraq • North Korea • Lebanon • Libya • Nicaragua • North Korea • Russia • Somalia • South Sudan • Sudan • Syria • Venezuela • Zimbabwe. Subject to change based on the Department of State orders the State Department’s list of countries subject to U.S. arms embargoes shall be controlling.
根据《出口管理条例》（EAR）第740部分第1号补充文件（第15编国家分组），当前D:5国家/地区包括：中国（包括香港）• 阿富汗 • 白俄罗斯 • 缅甸 • 柬埔寨 • 中非共和国 • 刚果（民主共和国） • 古巴 • 厄立特里亚 • 海地 • 伊朗 • 伊拉克 • 朝鲜 • 黎巴嫩 • 利比亚 • 尼加拉瓜 •俄罗斯 • 索马里 • 南苏丹 • 苏丹 • 叙利亚 • 委内瑞拉 • 津巴布韦。该清单可能根据美国国务院命令变更，最终以国务院发布的受武器禁运国家清单为准。

Currently in Part 772 of the EAR, “Advanced-Node Integrated Circuits” include integrated circuits that meet any of the following criteria:
(1) Logic integrated circuits using a non-planar transistor architecture or with a “production” ‘technology node’ of 16/14 nanometers or less;
(2) NOT AND (NAND) memory integrated circuits with 128 layers or more; or
(3) Dynamic random-access memory (DRAM) integrated circuits having:
(a) a memory cell area of less than 0.0026 µm2;
(b) a memory density greater than 0.20 gigabits per square millimeter; or
(c) more than 3000 through-silicon vias per die.
根据《出口管理条例》(EAR) 第772部分规定，“先进节点集成电路”（Advanced-Node Integrated Circuits）指符合以下任一条件的集成电路：
(1) 逻辑集成电路：采用非平面晶体管架构，或生产”技术节点”为16/14纳米及以下；
(2) NAND存储器集成电路：具有128层及以上；
(3) 动态随机存取存储器（DRAM）集成电路：
(a) 存储单元面积小于0.0026平方微米（µm²）；
(b) 存储密度大于0.20千兆比特/平方毫米；
(c) 每晶圆通过硅通孔 (through-silicon vias) 数量超过3000个。

Currently under Supplement No. 1 to Part 740, Title 15 (Country Groups) the D:1, D:4 and D:5 Countries are: • China (including Hong Kong)• Afghanistan • Armenia • Azerbaijan • Bahrain • Belarus • Burma • Cambodia • Central African Republic • Congo (Democratic Republic of) • Cuba • Egypt • Eritrea • Georgia • Haiti • Iran • Iraq • Jordan • Kazakhstan • North Korea • Kuwait • Kyrgyzstan • Laos • Lebanon • Libya • Nicaragua • Macau • Moldova • Mongolia • Oman • Pakistan • Qatar • Russia • Saudi Arabia • Somalia • South Sudan • Republic of Sudan • Syria • Tajikistan • Turkmenistan • United Arab Emirates • Uzbekistan • Venezuela • Vietnam • Yemen • Zimbabwe. Subject to change based on the Department of State orders the State Department’s list of countries subject to U.S. arms embargoes shall be controlling.
根据《出口管理条例》(EAR)第740部分第1号补充文件（第15编国家分组），当前D:1、D:4和D:5国家/地区包括：中国（包括香港）• 阿富汗 • 亚美尼亚• 阿塞拜疆 • 巴林 •白俄罗斯 • 缅甸 • 柬埔寨 • 中非共和国 • 刚果（民主共和国） • 古巴 • 埃及 •厄立特里亚 • 格鲁吉亚 • 海地 • 伊朗 • 伊拉克 • 约旦 • 哈萨克斯坦 • 朝鲜 • 科威特 • 吉尔吉斯斯坦 • 老挝 • 黎巴嫩 • 利比亚 • 尼加拉瓜 • 中国澳门 • 摩尔多瓦 • 蒙古• 阿曼 • 巴基斯坦 • 卡塔尔 • 俄罗斯 • 沙特阿拉伯 •索马里 • 南苏丹 • 苏丹共和国 • 叙利亚 • 塔吉克斯坦 • 土库曼斯坦 • 阿联酋 • 乌兹别克斯坦 • 委内瑞拉 • 越南 • 也门 • 津巴布韦。该清单可能根据美国国务院命令变更，最终以国务院发布的受武器禁运国家清单为准。